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Lori Copeland Fired from LPL Financial For Alleged Failure to Disclose OBAs

Lori Copeland (CRD #: 6437019), a broker formerly registered with LPL Financial, allegedly failed to disclose certain outside business activities, according to her BrokerCheck record, accessed on February 14, 2023. If you want to know more about her alleged conduct as a broker, read on.

Termination from LPL Financial

On January 18, 2023, Lori Copeland was fired from LPL Financial after allegedly failing to disclose certain outside business activities to the firm.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to disclose any business activities they engage in outside their firm, as well as any compensation they may receive from these activities.

Other business activities

Lori Copeland’s detailed BrokerCheck report does not currently list any outside business activities.

Termination from Independent Advisor Alliance

On January 18, 2023, Lori Copeland was fired from investment advisory firm Independent Advisor Alliance for allegedly failing to disclose her outside business activities.

Background Information

Lori Copeland has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

She previously worked for LPL Financial (CRD#:6413).

Kurta Law Can Help

If you worked with Lori Copeland and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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